James H. Kase
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Howard Kase was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 8 firms and has passed the Series 63, Series 3, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2009 - October 3, 2012
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
November 30, 2005 - January 30, 2009
ING INVESTMENT MANAGEMENT SERVICES LLC
June 15, 2000 - September 23, 2005
FAM DISTRIBUTORS, INC.
November 22, 1995 - March 16, 2000
LEHMAN BROTHERS INC.
January 3, 1995 - September 29, 1995
SBC WARBURG, INC.
August 20, 1993 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
May 1, 1987 - August 5, 1993
DB ALEX. BROWN LLC
May 20, 1986 - October 16, 1986
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107 / SEC#: , 8-44744
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
